SEC Form 4 · accession 0001001250-15-000007
ESTEE LAUDER COMPANIES INC · EL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Parsons
Director
Period of report
Feb 17, 2015
Accepted (ET)
Feb 18, 2015 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001250
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Feb 17, 2015 | M | 10,000 | $16.81 | A | 10,000 | D | |
| Class A Common Stock | Feb 17, 2015 | M | 10,000 | $23.32 | A | 20,000 | D | |
| Class A Common Stock | Feb 17, 2015 | M | 12,112 | $35.51 | A | 32,112 | D | |
| Class A Common StockF1,F2 | Feb 17, 2015 | S | 32,112 | $81.77 | D | 0 | D | |
| Class A Common Stock | holding | — | — | — | 4,442 | I | By Parsons Family Foundation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F3,F4 | $16.81 | Feb 17, 2015 | M | 10,000 | A | Nov 7, 2009 | Nov 7, 2018 | Class A Common Stock | 10,000 | 0 | D |
| Option (Right to Buy)F3,F4 | $23.32 | Feb 17, 2015 | M | 10,000 | A | Nov 13, 2010 | Nov 13, 2019 | Class A Common Stock | 10,000 | 0 | D |
| Option (Right to Buy)F3,F4,F5 | $35.51 | Feb 17, 2015 | M | 12,112 | A | Nov 9, 2011 | Nov 9, 2020 | Class A Common Stock | 12,112 | 0 | D |
Explanation of responses
- F1The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person at each separate price within the range.
- F2Sales prices range from $81.59 to $82.11 per share, inclusive.
- F3Stock options granted pursuant to the Issuer's Non-Employee Director Share Incentive Plan.
- F4Not Applicable.
- F5The Reporting Person also has options to purchase at various prices 17,499 shares of Class A Common Stock, 13,125 of which are currently exercisable.